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FINRA Arbitration


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Unfortunately, people who in positions of power don’t always live up to the ethical and professional standards required of them. Stock brokers and financial advisors are no exception, and headlines bear this out in national media year after year.

Any form of financial advisor misconduct is extremely serious. Nest eggs that took years to build can vaporize in an instant, leaving lives in ruins. If you suffered financial losses due to the actions of an irresponsible broker or fraudulent advisor, you are not alone. Many people across the spectrum fall prey to deceptive, misleading, or improper broker/advisor behaviors that can decimate their accounts.  Even the most savvy investors are vulnerable to financial abuse.

So, what if you discover that your brokerage firm, stockbroker or investment advisor violated the trust and confidence of your business relationship? Before you resign yourself to the thought that your hard-earned money is lost forever, there are ways to fight back. Through mediation, and sometimes arbitration, it is often possible to recoup some or all of the money lost.

What is Arbitration and how does it work?

As part of your initial signed customer agreement with the broker and brokerage firm, you have the right to demand a hearing to resolve investment disputes through mediation and arbitration facilities of FINRA (Financial Industry Regulatory Authority). FINRA is the dispute arm of the SEC with its own rules for mediation and trial of disputes arising from broker misconduct and securities fraud. Arbitrators and mediators trained by FINRA are often not legal professionals, and the mission of FINRA is not necessarily to protect the investor.

FINRA employs the tools of mediation and arbitration to resolve disputes investors have with their brokers and advisors.  Mediation is a settlement process whereby investors can create compromised resolution or settlement with their brokers.  Settlement through FINRA is not as flexible as mediation in common litigation but is often a useful and beneficial tool in helping investors find restoration to wholeness without having to undergo the stress and frustration of arbitration, which is more likened to a trial.


Are you a victim of broker misconduct or securities fraud? Call us. Often times,
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Both methods of resolution require preliminary matters to be undertaken before mediation and arbitration conferences are held.  All of the normal elements of a lawsuit, including investigation, discovery, connecting dots, and illustrating a persuasive story of wrong-doing is nearly identical to what takes place in FINRA arbitration.  At an arbitration, evidence is presented and testimony is provided.  At the conclusion of that, the arbitrator makes a ruling that is binding on the parties.

The most proactive thing you can do when you find yourself a victim of broker fraud is to immediately seek legal counsel to guide you through the FINRA process. It is important to look for an experienced attorney with an insider’s knowledge of the industry and a result-driven record of success.

Attorney Tucker Veach is certified to represent clients before FINRA. Because this admission is a federal SEC certification, he is able to represent clients nationwide in FINRA mediation and arbitration matters and is not limited to North Carolina, Washington D.C., Texas or Tennessee, where he holds licenses to practice in state courts.

Because Mr. Veach operates a boutique securities and investment arbitration firm, he is able to provide first-rate representation to his clients that larger firms simply cannot handle in a cost-effective manner. He has successfully represented hundreds of clients and recovered tens of millions for defrauded investors through arbitration.

No one wants to lose their hard-earned money. If you believe that you have suffered an investment loss, call Attorney Tucker Veach  today at 828-398-8288 for a confidential consultation.

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